Enabling Environment for Social Accountability in ... - SASANet

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Part I. Introduction 1.1 DEFINITION AND IMPORTANCE OF SOCIAL ACCOUNTABILITY Accountability of public officials is the cornerstone of good government and a prerequisite for an effective democracy. The World Bank and other international donors are paying increasing attention to accountability and transparency of public institutions in their development policies, strategies, and programs. Efforts to enhance government accountability have concentrated on improving so-called “horizontal” mechanisms of accountability between governmental actors and institutions. These include: 1) political mechanisms such as constitutional constraints, separation of powers, the legislature, and legislative investigative commissions; 2) fiscal instruments such as formal systems of auditing and financial accounting; 3) administrative mechanisms such as hierarchical reporting, norms of public sector probity, public service codes of conduct, and rules and procedures regarding transparency and public oversight, and 4) legal mechanisms such as corruption control agencies, ombudsmen, and the judiciary (Goetz and Gaventa 2001). Recently, efforts to improve governance have focused on the “vertical” mechanisms of accountability to encourage the participation of citizens, especially impoverished citizens, in promoting accountability and responsiveness among public officials and service providers. Such forms of accountability, commonly referred to as social accountability, promote transparency and responsiveness in public policy making and implementation and are increasingly regarded as an important means to improve governance and develop effectiveness. 3 While this approach to accountability empowers citizens, 4 it can also promote inclusive and accountable institutions and enhance the political legitimacy and stability of a government, thereby strengthening social cohesion and capacity for socioeconomic development. 5 Social accountability, as used in this study, refers to 1) the broad range of actions and mechanisms, including but not limited to voting, that citizens can use to hold public officials to account, as well as 2) actions on the part of government, civil society, media, and other societal actors that promote or facilitate these efforts. Traditionally, citizen or civil society-led efforts to hold public officials accountable have included actions such as public demonstrations, protests, advocacy campaigns, investigative journalism, and public interest lawsuits. In more recent years, the expanded use of participatory data collection and analysis tools, combined with enhanced opportunities for civic engagement with the state, have led to a new generation of social accountability practices that emphasize a solid evidence base for direct dialogue and negotiation with public officials. 6 These include participatory public policy making, participatory budgeting, public expenditure tracking, and citizen monitoring and evaluation of public service delivery. They also include efforts to enhance citizen knowledge and use of conventional mechanisms of accountability through public education about legal rights and services; and efforts to improve the effectiveness of “internal” accountability mechanisms through activities such as citizen involvement in public commissions and hearings, citizen advisory boards and oversight committees (Malena 2005). 3 John Ackerman defines social accountability as “society’s role in improving government accountability” (Ackerman 2004a). On the conceptualization of social accountability and its applicability to economic and political development, see also Dennis Arroyo (2004) and Carmen Malena, et al. (2004). 4 The World Development Report 2001(World Bank 2001d) and the World Bank’s empowerment framework, Empowerment and Poverty Reduction, A Sourcebook (World Bank 2002a) also recognize accountability as an integral component of empowerment. 5 Inclusion, cohesion, and accountability are the three principles prioritized in the World Bank’s Social Development Strategy (2005b). 6 A well-cited example of this is the “citizen report card” survey pioneered by the Public Affairs Center in Bangalore (India) that assesses the quality and effectiveness of public services in the city. 1
1.2 PURPOSE OF THE STUDY The purpose of this study is: 1) to analyze the conditions that influence the ability of citizens and their organizations to promote accountability; 2) to identify priority areas for policy, legal, regulatory, and institutional reforms to improve these conditions; and 3) to identify areas in which capacity building of civil society organizations and the Government of Mongolia may be promoted to enhance social accountability for improved governance, social and economic development, and poverty reduction. The role of civil society actors in promoting social accountability is particularly relevant to Mongolia because of the emphasis the GoM and its development partners place on good governance to enhance social and economic development. Social accountability mechanisms —which strengthen links between the state and citizens—form a critical foundation for Mongolia’s ongoing effort to develop effective and accountable democratic institutions. These accountability mechanisms check corruption—increasingly acknowledged by all stakeholders 7 as a challenge in Mongolia. Furthermore, both public governance and civic engagement are constrained by sociopolitical legacies of the socialist regime that accustomed Mongolians to a top-down approach to governance and ensured their passive acquiescence to the state. Consequently, one of the greatest challenges to the consolidation of Mongolia’s transition to an open political and economic system is that public officials and citizens must gain a greater understanding of the role of citizens in promoting social accountability, as well as the knowledge to effectively incorporate citizen contributions into governance and development. Finally, a 2003 Client Survey conducted by the World Bank in Mongolia indicated “that there are two areas where the Bank is seen less positively, and may want to explore in further detail: building capacity at (the) community level and including local communities and civil society in strategy development” (World Bank 2003b:34). This analysis of the enabling environment for civil society participation in social accountability responds to both of these concerns. 1.3 CONCEPTUAL FRAMEWORK: ENABLING ENVIRONMENT FOR CIVIL SOCIETY’S PARTICIPATION IN SOCIAL ACCOUNTABILITY Broadly defined, social accountability is the pursuit of accountability of public institutions, the private sector, or even CSOs to societal actors. Social accountability mechanisms may be initiated or promoted by the state, international agencies, or individual citizens. To be effective, however, social accountability requires the sustained participation of a strong, vibrant, and autonomous civil society that is active in social, economic, and political governance issues. 8 The participation of both civil society actors and ordinary citizens is commonly referred to as civic engagement. This study focuses on civil society organizations (CSOs) rather than individual citizens because CSOs generally have greater access to resources and represent many citizens who may be seen as a significant voting bloc; thus, they are better placed to promote social accountability. A frequent critique of studies on civil society is that they focus on formally organized and officially recognized NGOs. This study goes 7 See Sant Maral Foundation 2005; UNDP 2000; Zorig Foundation 2004. 8 Although there are many actors in the private sector who may hold a government accountable, such as influential business leaders, this study focused on the role of civil society actors in promoting social accountability. Only when business leaders have banded together to form a CSO, such as through business associations, would their activities come within the parameters of this study.
Page 2 and 3: Report No. 32584-MN The Enabling En
Page 4 and 5: Table of Contents Acronyms ........
Page 6 and 7: Boxes: Box 2.1.1 Proposed Changes t
Page 8 and 9: Preface This study on “The Enabli
Page 10 and 11: of civic engagement, namely, the ab
Page 14 and 15: further and recognizes other types
Page 16 and 17: as resources. 13 The quantitative c
Page 18 and 19: parliamentary elections demonstrate
Page 20 and 21: As figure 2.1.2 clearly illustrates
Page 22 and 23: The Constitution also guarantees th
Page 24 and 25: ise of mass pro-democracy movements
Page 26 and 27: preferences of funders. This has le
Page 28 and 29: Recommendations: 1) The Ministry of
Page 30 and 31: PART III - Assessment of the Enabli
Page 32 and 33: and operations, or demand elections
Page 34 and 35: conferences and workshops, to more
Page 36 and 37: Capacity Building Program,” indep
Page 38 and 39: Efforts to transform the state broa
Page 40 and 41: 2) Given the culture and norms that
Page 42 and 43: Figure 3.3.1 Frequency of CSO Reque
Page 44 and 45: Box 3.3.1 Women for Social Progress
Page 46 and 47: These bureaucratic delays highlight
Page 48 and 49: Other ways for CSOs to generate alt
Page 50 and 51: development initiatives become more
Page 52 and 53: Box 3.4.1 The Community Scorecard:
Page 54 and 55: Negotiation also ensures that legis
Page 56 and 57: Although the Environmental Impact A
Page 58 and 59: Part IV—Conclusion This study on
Page 60 and 61: 4.2 SUMMARY OF FINDINGS AND RECOMME
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4.2 SUMMARY OF FINDINGS AND RECOMME
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Page 68 and 69:
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Currently, the NCAV works in six se
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Mongolian Federation of Senior Citi
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are reluctant to assume full respon
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FINDINGS AND RECOMMENDATIONS: NATIO
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WSP-UV’s coordinator remains in c
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program officer, the methodology us
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critical role in promoting social a
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Annex 3: Social Accountability and
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khural chairs who served on the ORM
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is inadequate. Part of the problem
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plans, but there was no follow-up a
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Recommendation: Effective CSO colla
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wide mandate to manage and monitor
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Ulaanbaatar, asking them to identif
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Moreover, after a World Bank Superv
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Annex 5. Mongolian Media: Overview
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they would be unlikely to do so. CR
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discussion below), the director of
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Social and cultural considerations
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Findings and Recommendations: Mongo
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Annex 6. Survey of Civil Society Or
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How frequently has your organizatio
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Computer 95% up to 40 computers, 21
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No response 1% BB1. If you have req
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KK. Over the last year, how frequen
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C. What are the most important soci
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L. How much influence do citizens h
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U. Are most civil society organizat
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Annex 8. Stakeholders’ Map CSO NA
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CSO NAME Gandan Monastery Gandantse
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CSO NAME Liberal Women’s Brain Po
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CSO NAME Mongolian Information Netw
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CSO NAME Ongi River Movement (ORM)
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CSO NAME Press Institute Red Cross
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CSO NAME Women For Social Progress,
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AFFILIATION State Great Khural (Par
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AFFILIATION Mineral Resource and Pe
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AFFILIATION National Legal Center (
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AFFILIATION Mongolian Radio and TV
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AFFILIATION UNDP UNICEF CONTACT ANN
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AFFILIATION Mercy Corps CONTACT ANN
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Bibliography Ackerman, John M. 2004
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Finch, Christopher. 2002. “Mongol
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---. 2004. Rural Government Procure
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National University of Mongolia. 20
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UNDP. 2001. A Strategy for Poverty
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Zorig Foundation. 2004. “Monitori
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